SEC Form 4 · accession 0001214659-15-000194

EMCORE CORP · EMKR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Officer — Chief Financial Officer

Period of report

Jan 5, 2015

Accepted (ET)

Jan 7, 2015 · 5:09 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000808326

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Jan 5, 2015	A	18,750	—	A	110,161	D
Common Stock^F3	Jan 6, 2015	S	5,504	$5.18	D	104,657	D
Common Stock^F3	Jan 6, 2015	S	89	$5.2101	D	104,568	D
Common Stock^F4	holding	—	—		—	7,210	I	By 401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F7,F5,F6	—	Jan 5, 2015	A	56,250	A	—	—	Emcore Common Stock	56,250	56,250	D

F1These shares were issued as part of a 75,000 restricted stock unit grant under the Company's 2012 Equity Incentive Plan in a transaction exempt from Section 16b pursuant to Rule 16b-3(d). This entry represents a portion of the total grant of restricted stock units that vested immediately and was settled in common stock on the grant date.
F2The shares of common stock were awarded to the Reporting Person for no cash or other similar consideration.
F3All sales were effected pursuant to a 10b5-1 plan previously adopted by the Reporting Person to satisfy the reporting person's tax liability in connection with the granting of restricted stock units under the Company's 2012 Equity Incentive Plan, which grant was exempt from Section 16b pursuant to Rule 16b-3(d).
F4Shares attributable to EMCORE Corporation 401(k) account as of December 30, 2014.
F5Each restricted stock unit represents a contingent right to receive one share of Emcore common stock. Restricted stock units are payable, at the election of the Issuer, in cash, Emcore common stock, or a combination of the two.
F6Vests in three equal annual installments commencing on January 1, 2015. Not later than 30 days after vesting occurs, vested shares of Emcore common stock, an amount in cash equal to their fair market value or a combination of the two will be delivered to the Reporting Person.
F7The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.